|
| |||
|
Retirement
Class |
Institutional
Class |
Administrative
Class |
Investor
Class |
Harbor
Capital Appreciation Fund |
HNACX |
HACAX |
HRCAX |
HCAIX |
Harbor
Convertible Securities Fund |
HNCVX |
HACSX |
HRCSX |
HICSX |
Harbor
Core Bond Fund |
HCBRX |
HACBX |
-- |
-- |
Harbor
Core Plus Fund |
HBFRX |
HABDX |
HRBDX |
-- |
Harbor
Disruptive Innovation Fund |
HNMGX |
HAMGX |
HRMGX |
HIMGX |
Harbor
Diversified International All Cap Fund |
HNIDX |
HAIDX |
HRIDX |
HIIDX |
Harbor
International Fund |
HNINX |
HAINX |
HRINX |
HIINX |
Harbor
International Compounders Fund |
HNICX |
HSICX |
-- |
HVICX |
Harbor
International Core Fund |
HAORX |
HAOSX |
HAOAX |
HAONX |
Harbor
International Growth Fund |
HNGFX |
HAIGX |
HRIGX |
HIIGX |
Harbor
International Small Cap Fund |
HNISX |
HAISX |
HRISX |
HIISX |
Harbor
Large Cap Value Fund |
HNLVX |
HAVLX |
HRLVX |
HILVX |
Harbor
Mid Cap Fund |
HMCRX |
HMCLX |
HMCDX |
HMCNX |
Harbor
Mid Cap Value Fund |
HNMVX |
HAMVX |
HRMVX |
HIMVX |
Harbor
Small Cap Growth Fund |
HNSGX |
HASGX |
HRSGX |
HISGX |
Harbor
Small Cap Value Fund |
HNVRX |
HASCX |
HSVRX |
HISVX |
✓
Applicable |
Harbor
Capital
Appreciation
Fund |
Harbor
Convertible
Securities
Fund |
Harbor
Core
Bond
Fund |
Harbor
Core
Plus
Fund |
Harbor
Disruptive
Innovation
Fund |
Harbor
Diversified
International
All
Cap
Fund |
Harbor
International
Fund |
Harbor
International
Compounders
Fund |
Asset-Backed
Securities |
|
|
✓ |
✓ |
|
|
|
|
Below
Investment-Grade Fixed Income Securities |
|
✓ |
|
|
|
|
|
|
Borrowing |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Cash
Equivalents |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Collateralized
Debt Obligations |
|
|
✓ |
✓ |
|
|
|
|
Common
Stocks |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Convertible
Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Cybersecurity
Risks |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Delayed
Funding and Revolving Credit Facilities |
|
✓ |
✓ |
✓ |
|
|
|
|
Derivative
Instruments |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Duration |
|
✓ |
✓ |
✓ |
|
|
|
|
ESG
Integration |
✓ |
✓ |
✓ |
✓ |
|
✓ |
✓ |
✓ |
Event-Linked
Exposure |
|
✓ |
|
|
|
|
|
|
Fixed
Income Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Foreign
Currency Transactions |
✓ |
✓ |
|
✓ |
✓ |
✓ |
✓ |
✓ |
Foreign
Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Forward
Commitments and When-Issued Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Illiquid
Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Inflation-Indexed
Bonds |
|
|
✓ |
✓ |
|
|
|
|
Initial
Public Offerings |
|
|
|
|
|
|
|
✓ |
Interfund
Lending |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Investments
in Other Investment Companies |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Liquidation
of Funds |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Loan
Originations, Participations and Assignments |
|
✓ |
✓ |
✓ |
|
|
|
|
Mortgate
“Dollar Roll” Transactions |
|
|
✓ |
✓ |
|
|
|
|
Mortgage-Backed
Securities |
|
|
✓ |
✓ |
|
|
|
|
Municipal
Bonds |
|
|
✓ |
✓ |
|
|
|
|
Non-Diversified
Status |
|
|
|
|
|
|
|
✓ |
Partnership
Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Preferred
Stocks |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Real
Estate Investment Trusts |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Regulatory
Risk and Other Market Events |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Repurchase
Agreements |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Restricted
Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Reverse
Repurchase Agreements |
|
✓ |
|
|
|
|
|
|
Rights
and Warrants |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Securities
Lending |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Short
Sales |
✓ |
✓ |
✓ |
✓ |
✓ |
|
|
|
Small
to Mid Companies |
✓ |
✓ |
|
|
✓ |
✓ |
✓ |
✓ |
Sovereign
Debt Obligation |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Special
Purpose Acquisition Companies |
|
|
|
|
✓ |
|
|
|
Structured
Products |
|
|
✓ |
✓ |
|
|
|
|
Trust-Preferred
Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
U.S.
Government Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Variable
and Floating Rate Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Variable
Interest Entities |
|
|
|
|
|
✓ |
✓ |
✓ |
✓
Applicable |
Harbor
International
Core
Fund |
Harbor
International
Growth
Fund |
Harbor
International
Small
Cap
Fund |
Harbor
Large
Cap
Value
Fund |
Harbor
Mid
Cap
Fund |
Harbor
Mid
Cap
Value
Fund |
Harbor
Small
Cap
Growth
Fund |
Harbor
Small
Cap
Value
Fund |
Asset-Backed
Securities |
|
|
|
|
|
|
|
|
Below
Investment-Grade Fixed Income Securities |
|
|
|
|
|
|
|
|
Borrowing |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Cash
Equivalents |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Collateralized
Debt Obligations |
|
|
|
|
|
|
|
|
Common
Stocks |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Convertible
Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Cybersecurity
Risks |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Delayed
Funding and Revolving Credit Facilities |
|
|
|
|
|
|
|
|
Derivative
Instruments |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Duration |
|
|
|
|
|
|
|
|
ESG
Integration |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Event-Linked
Exposure |
|
|
|
|
|
|
|
|
Fixed
Income Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Foreign
Currency Transactions |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Foreign
Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Forward
Commitments and When-Issued Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Illiquid
Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Inflation-Indexed
Bonds |
|
|
|
|
|
|
|
|
Initial
Public Offerings |
|
|
|
|
|
|
|
|
Interfund
Lending |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Investments
in Other Investment Companies |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Liquidation
of Funds |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Loan
Originations, Participations and Assignments |
|
|
|
|
|
|
|
|
Mortgate
“Dollar Roll” Transactions |
|
|
|
|
|
|
|
|
Mortgage-Backed
Securities |
|
|
|
|
|
|
|
|
Municipal
Bonds |
|
|
|
|
|
|
|
|
Non-Diversified
Status |
|
|
|
|
|
|
|
|
Partnership
Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Preferred
Stocks |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Real
Estate Investment Trusts |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Regulatory
Risk and Other Market Events |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Repurchase
Agreements |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Restricted
Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Reverse
Repurchase Agreements |
|
|
|
|
|
|
|
|
Rights
and Warrants |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Securities
Lending |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Short
Sales |
✓ |
|
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Small
to Mid Companies |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Sovereign
Debt Obligation |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Special
Purpose Acquisition Companies |
|
|
|
|
|
|
|
|
Structured
Products |
|
|
|
|
|
|
|
|
Trust-Preferred
Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
U.S.
Government Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Variable
and Floating Rate Securities |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
✓ |
Variable
Interest Entities |
✓ |
✓ |
|
|
|
|
|
|
Name
(Age)
Position(s)
with Fund |
Term
of
Office
and
Length
of
Time
Served1
|
Principal
Occupation(s)
During
Past Five Years |
Number
of
Portfolios
In
Fund
Complex
Overseen
By
Trustee |
Other
Directorships
Of
Public Companies
and
Other Registered
Investment
Companies
Held
by Trustee During
Past
Five Years |
INDEPENDENT
TRUSTEES | ||||
Scott
M. Amero (60)
Trustee |
Since
2014 |
Chairman
(2015-2020) and Trustee (2011-Present), Rare (conservation
nonprofit);
Trustee, Root Capital (2022-Present); Trustee, The Nature
Conservancy,
Massachusetts Chapter (2018-Present); Trustee, Adventure
Scientists
(conservation nonprofit) (2020-Present); Vice Chairman and Global
Chief
Investment Officer, Fixed Income (2010), Vice Chairman and Global
Chief
Investment Officer, Fixed Income, and Co-Head, Fixed Income Portfolio
Management
(2007-2010), BlackRock, Inc. (publicly traded investment
management
firm). |
32 |
None |
Donna
J. Dean (72)
Trustee |
Since
2010 |
Chief
Investment Officer of the Rockefeller Foundation (a private foundation)
(2001-2019). |
32 |
None |
Robert
Kasdin (65)
Trustee |
Since
2014 |
Trustee,
Barnard College (2023-Present); Senior Vice President and Chief
Operating
Officer (2015-2022) and Chief Financial Officer (2018-2022), Johns
Hopkins
Medicine; Trustee and Co-Chair of the Finance Committee, National
September
11 Memorial & Museum at the World Trade Center (2005-2019);
Director,
Apollo Commercial Real Estate Finance, Inc. (2014-Present); and
Director,
The Y in Central Maryland (2018-2022). |
32 |
Director
of Apollo
Commercial
Real Estate
Finance,
Inc. (2014-
Present). |
Kathryn
L. Quirk (71)
Trustee |
Since
2017 |
Member,
Independent Directors Council, Governing Council (2023-present);
Vice
President, Senior Compliance Officer and Head, U.S. Regulatory
Compliance,
Goldman Sachs Asset Management (2013-2017); Deputy Chief
Legal
Officer, Asset Management, and Vice President and Corporate Counsel,
Prudential
Insurance Company of America (2010-2012); Co-Chief Legal Officer,
Prudential
Investment Management, Inc., and Chief Legal Officer, Prudential
Investments
and Prudential Mutual Funds (2008-2012); Vice President and
Corporate
Counsel and Chief Legal Officer, Mutual Funds, Prudential
Insurance
Company of America, and Chief Legal Officer, Prudential
Investments
(2005-2008); Vice President and Corporate Counsel and Chief
Legal
Officer, Mutual Funds, Prudential Insurance Company of America
(2004-2005);
Member, Management Committee (2000-2002), General Counsel
and
Chief Compliance Officer, Zurich Scudder Investments, Inc. (1997-2002);
and
Member, Board of Directors and Co-Chair, Governance Committee, Just
World
International Inc. (nonprofit) (2020 – 2023). |
32 |
None |
Douglas
J. Skinner (62)
Trustee |
Since
2020 |
Professor
of Accounting (2005-Present), Deputy Dean for Faculty (2015-2016,
2017-Present),
Interim Dean (2016-2017), University of Chicago Booth School
of
Business. |
32 |
None |
Ann
M. Spruill (70)
Trustee |
Since
2014 |
Partner
(1993-2008), member of Executive Committee (1996-2008), Member
Board
of Directors (2002-2008), Grantham, Mayo, Van Otterloo & Co, LLC
(private
investment management firm) (with the firm since 1990); Member
Investment
Committee and Chair of Global Public Equities, Museum of Fine
Arts,
Boston (2000-2020); and Trustee, Financial Accounting Foundation
(2014-2020). |
32 |
None |
Landis
Zimmerman (65)
Trustee |
Since
2022 |
Independent,
non-fiduciary advisor, Gore Creek Asset Management (2006-
Present);
Member, Frederick Gunn School Investment Committee (2023-
Present);
Member, Japan Science and Technology Agency Investment
Advisory
Committee (2021-2023); Chief Investment Officer of the Howard
Hughes
Medical Institute (2004-2021). |
32 |
None |
INTERESTED
TRUSTEE | ||||
Charles
F. McCain (54)*
Chairman,
Trustee
and
President |
Since
2017 |
Director
(2007-Present), Chief Executive Officer (2017-Present), President
and
Chief Operating Officer (2017), Executive Vice President and General
Counsel
(2004-2017), and Chief Compliance Officer (2004-2014), Harbor Capital
Advisors,
Inc.; Director and Chairperson (2019-Present), Harbor Trust
Company,
Inc.; Director (2007-Present) and Chief Compliance Officer
(2004-2017),
Harbor Services Group, Inc.; Director (2007-Present), Chief
Executive
Officer (2017-Present), Chief Compliance Officer (2007-2017;
2023-Present),
and Executive Vice President (2007-2017), Harbor Funds
Distributors,
Inc.; Chief Compliance Officer, Harbor Funds (2004-2017); and
Chairman,
President and Trustee, Harbor ETF Trust
(2021-Present). |
32 |
None |
Name
(Age)
Position(s)
with Fund |
Term
of
Office
and
Length
of
Time
Served1
|
Principal
Occupation(s)
During
Past Five Years |
FUND
OFFICERS NOT LISTED ABOVE**
| ||
Diana
R. Podgorny (44)
Chief
Legal Officer, Chief
Compliance
Officer |
Since
2023 |
Executive
Vice President, General Counsel and Secretary (2023-Present), Senior Vice
President and Deputy General
Counsel
(2022-2023), Senior Vice President and Assistant General Counsel
(2020-2022), and Vice President and Assistant
General
Counsel (2017-2020), Harbor Capital Advisors, Inc.; Director, Vice
President, and Secretary (2023-Present),
Harbor
Services Group, Inc.; Director and Vice President (2020-Present), Harbor
Trust Company, Inc.; Chief Legal Officer
and
Chief Compliance Officer (2023-Present), Secretary (2017-2024), Harbor
Funds; Chief Legal Officer and Chief Compliance
Officer
(2023-Present), Secretary (2021-2024), Harbor ETF Trust; and Chief Legal
Officer, Chief Compliance Officer and
Secretary
(2023-2024), Harbor Funds II. |
Richard
C. Sarhaddi (50)
Deputy
Chief Compliance
Officer
and Vice President |
Since
2023 |
Senior
Vice President and Chief Compliance Officer (2023-Present), Harbor Capital
Advisors, Inc. and Harbor Services
Group,
Inc.; Director and Chief Compliance Officer (2023-Present), Harbor Trust
Company Inc.; Deputy Chief Compliance
Officer
and Vice President (2023-Present), Harbor Funds; Deputy Chief Compliance
Officer and Vice President
(2023-present),
Harbor ETF Trust; and Deputy Chief Compliance Officer and Vice President
(2023-Present), Harbor Funds II.
Chief
Compliance Officer (2021-2023), Vanguard Personalized Indexing Management,
LLC; Head of U.S. Direct Investor
Advice
Compliance, (2018-2023), The Vanguard Group, Inc.; Director & Lead
Counsel, Digital Services / Intelligent
Portfolios
(2015-2018), Charles Schwab & Co., Inc. |
John
M. Paral (55)
Treasurer |
Since
2022 |
Senior
Vice President – Fund Administration and Analysis (2022-Present), Director
of Fund Administration and Analysis
(2017-2022),
Vice President (2012-2022) and Financial Reporting Manager (2007-2017),
Harbor Capital Advisors, Inc.;
Treasurer
(2022-Present) and Assistant Treasurer (2013-2022), Harbor Funds;
Treasurer (2022-Present) and Assistant
Treasurer
(2021-2022), Harbor ETF Trust; and Treasurer (2023-Present), Harbor Funds
II. |
Gregg
M. Boland (60)
Vice
President and AML
Compliance
Officer |
Since
2022 |
Executive
Vice President (2020-Present), Vice President (2019-2020), Harbor Capital
Advisors, Inc.; President (2019-Present),
Senior
Vice President – Operations (2016-2019), and Vice President – Operations
(2007-2015), Harbor Services Group,
Inc.;
Senior Vice President, AML Compliance Officer, and OFAC Officer
(2019-Present), Harbor Funds Distributors,
Inc.;
Vice President, Harbor Funds (2019-Present) and Vice President
(2021-Present), Harbor ETF Trust; and Vice President
and
AML Compliance Officer (2023-Present), Harbor Funds
II. |
Kristof
M. Gleich (44)
Vice
President |
Since
2019 |
President
(2018-Present) and Chief Investment Officer (2020-Present), Harbor Capital
Advisors, Inc.; Director, Vice
Chairperson,
President (2019-Present) and Chief Investment Officer (2020-Present),
Harbor Trust Company, Inc.; Vice
President
(2019-Present), Harbor Funds; Vice President (2021-Present), Harbor ETF
Trust; Vice President (2023-Present),
Harbor
Funds II; and Managing Director, Global Head of Manager Selection
(2010-2018), JP Morgan Chase & Co. |
Diane
J. Johnson (58)
Vice
President |
Since
2022 |
Vice
President (2022-Present) and Tax Director (2009-Present), Harbor Capital
Advisors, Inc.; Vice President (2022-Present),
Harbor
Funds; Vice President (2022-Present), Harbor ETF Trust; and Vice President
(2023-Present), Harbor Funds II. |
Lora
A. Kmieciak (59)
Vice
President |
Since
2022 |
Executive
Vice President and Chief Financial Officer (2022-Present), Senior Vice
President – Fund Administration and
Analysis
(2017-2022) and Senior Vice President - Business Analysis (2015-2017),
Harbor Capital Advisors, Inc.; Vice
President
(2020 – Present) and Director (2022-Present), Harbor Trust Company, Inc.;
Assistant Treasurer (2017-2022)
and
Vice President (2022-Present), Harbor Funds; Assistant Treasurer
(2021-2022) and Vice President (2022-Present),
Harbor
ETF Trust; and Vice President (2023-Present), Harbor Funds
II. |
Meredyth
A. Whitford-Schultz
(43)
Secretary |
Since
2024 |
Vice
President and Associate General Counsel (2023-Present), Harbor Capital
Advisors, Inc.; Secretary (2023-Present),
Harbor
Trust Company, Inc.; Secretary (2024-Present), Harbor Funds; and Secretary
(2024-Present), Harbor ETF Trust;
Senior
Counsel (2015-2023), Western & Southern Financial Group,
Inc. |
Meredith
S. Dykstra (39)
Assistant
Secretary |
Since
2023 |
Senior
Counsel (2022-Present), Vice President (2015-Present) and Legal Counsel
(2015-2022), Harbor Capital Advisors,
Inc.;
Assistant Secretary (2023-Present), Harbor Trust Company, Inc.; Assistant
Secretary (2023-Present), Harbor Funds;
Assistant
Secretary (2023-Present), Harbor ETF Trust; and Assistant Secretary
(2023-Present), Harbor Funds II. |
Lana
M. Lewandowski (44)
Assistant
Secretary |
Since
2017 |
Vice
President and Compliance Director (2022-Present), Legal & Compliance
Manager (2016-2022) and Legal Specialist
(2012-2015),
Harbor Capital Advisors, Inc.; AML Compliance Officer (2017-2022) and
Assistant Secretary (2017-Present),
Harbor
Funds; AML Compliance Officer (2021-2022) and Assistant Secretary
(2021-Present), Harbor ETF Trust; and
Assistant
Secretary (2023-Present), Harbor Funds
II. |
1
|
Each
Trustee serves for an indefinite term, until his or her successor is
elected. Each Officer is elected annually. |
* |
Mr.
McCain is deemed an “Interested Trustee” due to his affiliation with the
Advisor and Distributor of Harbor Funds. |
** |
Officers
of the Funds are “interested persons” as defined in the Investment Company
Act. |
Name
of Person, Position |
Aggregate
Compensation
From
Harbor Funds |
Pension
or
Retirement
Benefits
Accrued
As
Part of Fund
Expenses |
Total
Compensation
From
Fund Complex Paid to Trustees* |
Charles
F. McCain, Chairman, President
and
Trustee |
-0- |
-0- |
-0- |
Scott
M. Amero, Trustee |
$240,000 |
-0- |
$300,000 |
Donna
J. Dean, Trustee |
$240,000 |
-0- |
$300,000 |
Robert
Kasdin, Trustee1 |
$240,000 |
-0- |
$300,000 |
Kathryn
L. Quirk, Trustee1,2 |
$280,000 |
-0- |
$350,000 |
Douglas
J. Skinner, Trustee3 |
$260,000 |
-0- |
$325,000 |
Ann M.
Spruill, Trustee1 |
$240,000 |
-0- |
$300,000 |
Landis
Zimmerman, Trustee |
$240,000 |
-0- |
$300,000 |
Name
of Trustee |
Dollar
Range of Ownership in Each Fund |
Aggregate
Dollar Range of
Ownership
in Harbor Funds | |
Independent
Trustees | |||
Scott
M. Amero |
Harbor
Small Cap Growth Fund |
Over
$100,000 |
Over
$100,000 |
Donna
J. Dean |
Harbor
Capital Appreciation Fund |
Over
$100,000 |
Over
$100,000 |
|
Harbor
Core Plus Fund |
Over
$100,000 |
|
|
Harbor
Convertible Securities Fund |
Over
$100,000 |
|
|
Harbor
Disruptive Innovation Fund |
$10,001-$50,000 |
|
|
Harbor
International Fund |
$50,001-$100,000 |
|
|
Harbor
International Core Fund |
$10,001-$50,000 |
|
|
Harbor
International Growth Fund |
$50,001-$100,000 |
|
|
Harbor
Large Cap Value Fund |
Over
$100,000 |
|
|
Harbor
Mid Cap Fund |
$10,001-$50,000 |
|
|
Harbor
Small Cap Growth Fund |
$50,001-$100,000 |
|
|
Harbor
Small Cap Value Fund |
$50,001-$100,000 |
|
Robert
Kasdin1 |
Harbor
Core Bond Fund |
Over
$100,000 |
Over
$100,000 |
|
Harbor
International Core Fund |
Over
$100,000 |
|
|
Harbor
Large Cap Value Fund |
Over
$100,000 |
|
|
Harbor
Small Cap Value Fund |
Over
$100,000 |
|
Kathryn
L. Quirk1 |
Harbor
Capital Appreciation Fund |
Over
$100,000 |
Over
$100,000 |
|
Harbor
Core Bond Fund |
$50,001-$100,000 |
|
|
Harbor
Core Plus Fund |
Over
$100,000 |
|
|
Harbor
Disruptive Innovation Fund |
$50,001-$100,000 |
|
|
Harbor
Diversified International All Cap Fund |
$10,001-$50,000 |
|
|
Harbor
International Growth Fund |
$50,001-$100,000 |
|
|
Harbor
Large Cap Value Fund |
Over
$100,000 |
|
|
Harbor
Mid Cap Fund |
$50,001-$100,000 |
|
|
Harbor
Mid Cap Value Fund |
Over
$100,000 |
|
|
Harbor
Small Cap Growth Fund |
$50,001-$100,000 |
|
Douglas
J. Skinner |
Harbor
Capital Appreciation Fund |
Over
$100,000 |
Over
$100,000 |
|
Harbor
Core Bond Fund |
Over
$100,000 |
|
|
Harbor
Mid Cap Value Fund |
Over
$100,000 |
|
|
Harbor
Small Cap Value Fund |
Over
$100,000 |
|
Ann M.
Spruill1
|
Harbor
Capital Appreciation Fund |
Over
$100,000 |
Over
$100,000 |
|
Harbor
Core Bond Fund |
Over
$100,000 |
|
|
Harbor
Diversified International All Cap Fund |
$50,001-$100,000 |
|
|
Harbor
International Fund |
Over
$100,000 |
|
|
Harbor
International Growth Fund |
Over
$100,000 |
|
|
Harbor
International Small Cap Fund |
Over
$100,000 |
|
Landis
Zimmerman |
Harbor
Core Bond Fund |
Over
$100,000 |
Over
$100,000
|
Name
of Trustee |
Dollar
Range of Ownership in Each Fund |
Aggregate
Dollar Range of
Ownership
in Harbor Funds | |
Interested
Trustee | |||
Charles
F. McCain2
|
Harbor
Capital Appreciation Fund |
Over
$100,000 |
Over
$100,000 |
|
Harbor
Core Bond Fund |
Over
$100,000 |
|
|
Harbor
Core Plus Fund |
Over
$100,000 |
|
|
Harbor
Convertible Securities Fund |
Over
$100,000 |
|
|
Harbor
Disruptive Innovation Fund |
Over
$100,000 |
|
|
Harbor
Diversified International All Cap Fund |
Over
$100,000 |
|
|
Harbor
International Fund |
Over
$100,000 |
|
|
Harbor
International Core Fund |
Over
$100,000 |
|
|
Harbor
International Growth Fund |
Over
$100,000 |
|
|
Harbor
International Small Cap Fund |
Over
$100,000 |
|
|
Harbor
Large Cap Value Fund |
Over
$100,000 |
|
|
Harbor
Mid Cap Fund |
Over
$100,000 |
|
|
Harbor
Mid Cap Value Fund |
Over
$100,000 |
|
|
Harbor
Small Cap Growth Fund |
Over
$100,000 |
|
|
Harbor
Small Cap Value Fund |
Over
$100,000 |
|
|
Contractual
Advisory
Fee
Annual
Rate
Based
on Average
Net
Assets |
Advisory
Fee Paid for Year Ended October 31
(000s) | ||
2023 |
2022 |
2021 | ||
HARBOR
FUNDS | ||||
Harbor
Capital Appreciation Fund |
0.60
% |
$136,928 |
$178,346 |
$244,596 |
(Reduction
due to fee waiver) |
|
(9,975
) |
(14,807
) |
(22,536
) |
Harbor
Convertible Securities Fund |
0.50 |
335 |
1,163 |
1,201 |
(Reduction
due to fee waiver) |
|
(17
) |
(89
) |
(92
) |
Harbor
Core Bond Fund |
0.23 |
220 |
210 |
432 |
Harbor
Core Plus Fund |
0.25 |
2,470 |
3,998 |
8,314 |
(Reduction
due to fee waiver) |
|
N/A |
(65
) |
(366
) |
Harbor
Disruptive Innovation Fund |
0.70 |
592 |
1,289 |
3,309 |
(Reduction
due to fee waiver) |
|
N/A |
N/A |
(115
) |
Harbor
Diversified International All Cap Fund |
0.75 |
7,206 |
7,439 |
8,399 |
(Reduction
due to fee waiver) |
|
N/A |
N/A |
(108
) |
Harbor
International Fund |
0.75/0.65b |
25,499 |
28,074 |
35,369 |
Harbor
International Compounders Fund1 |
0.50 |
N/A |
N/A |
N/A |
Harbor
International Core Fund |
0.75 |
1,040 |
492 |
322 |
Harbor
International Growth Fund |
0.75 |
2,722 |
4,264 |
6,560 |
Harbor
International Small Cap Fund |
0.85 |
2,310 |
622 |
421 |
Harbor
Large Cap Value Fund |
0.60/0.55a |
11,698 |
13,825 |
13,313 |
Harbor
Mid Cap Fund |
0.75 |
720 |
463 |
330 |
Harbor
Mid Cap Value Fund |
0.75 |
2,163 |
2,904 |
3,286 |
(Reduction
due to fee waiver) |
|
N/A |
(23
) |
(44
) |
Harbor
Small Cap Growth Fund |
0.75 |
7,583 |
7,103 |
8,711 |
Harbor
Small Cap Value Fund |
0.75 |
16,211 |
17,143 |
18,901 |
|
|
|
|
|
|
Fee
Paid by the Advisor to Subadvisor
For
Year Ended October 31
(000s) | ||
|
2023 |
2022 |
2021 |
HARBOR
FUNDS | |||
Harbor
Capital Appreciation Fund |
$48,822 |
$63,407 |
$86,654 |
Harbor
Convertible Securities Fund |
|
|
|
BlueCove
Limited1 |
79 |
|
|
Shenkman
Capital Management, Inc. |
114 |
716 |
739 |
Harbor
Core Bond Fund |
134 |
124 |
216 |
Harbor
Core Plus Fund2
|
|
|
|
Income
Research + Management for the period February 2, 2022 to October 31,
2022 |
1,446 |
1,225 |
|
Pacific
Investment Management Company LLC for the period November 1, 2020 to
February
1, 2022 |
|
898 |
3,962 |
Harbor
Disruptive Innovation Fund3
|
|
|
|
4BIO
Partners LLP for the period September 1, 2021 to October 31,
2022 |
35 |
79 |
31 |
NZS
Capital LLC for the period September 1, 2021 to October 31,
2022 |
140 |
276 |
66 |
Sands
Capital Management, LLC for the period September 1, 2021 to October 31,
2022 |
46 |
115 |
47 |
Tekne
Capital Management, LLC for the period September 1, 2021 to October 31,
2022 |
31 |
128 |
62 |
Wellington
Management Company, LLP for the period November 1, 2020 to
August
31, 2021 |
0 |
0 |
1,563 |
Westfield
Capital Management Co for the period September 1, 2021 to October 31,
2022 |
122 |
219 |
67 |
Harbor
Diversified International All Cap Fund |
4,125 |
4,213 |
4,647 |
Harbor
International Fund |
14,597 |
15,897 |
19,572 |
Harbor
International Compounders Fund4 |
N/A |
N/A |
N/A |
Harbor
International Core Fund |
624 |
295 |
193 |
Harbor
International Growth Fund |
1,573 |
2,208 |
3,120 |
Harbor
International Small Cap Fund |
1,232 |
365 |
248 |
Harbor
Large Cap Value Fund |
4,158 |
4,866 |
4,688 |
Harbor
Mid Cap Fund |
432 |
277 |
198 |
Harbor
Mid Cap Value Fund |
1,134 |
1,480 |
1,658 |
Harbor
Small Cap Growth Fund |
4,413 |
4,157 |
5,011 |
Harbor
Small Cap Value Fund |
7,987 |
8,263 |
9,068 |
|
Other
Registered
Investment
Companies |
Other
Pooled
Investment
Vehicles |
Other
Accounts | |||
#
of
Accounts |
Total
Assets
(in
millions) |
#
of
Accounts |
Total
Assets
(in
millions) |
#
of
Accounts |
Total
Assets
(in
millions) | |
HARBOR
CAPITAL APPRECIATION FUND | ||||||
Kathleen
A. McCarragher |
|
|
|
|
|
|
All
Accounts |
19 |
$33,785 |
10 |
$12,810 |
11 |
$1,488 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
1 |
10,320 |
0 |
— |
0 |
— |
Blair
A. Boyer |
|
|
|
|
|
|
All
Accounts |
19 |
33,785 |
10 |
12,631 |
32 |
8,675 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
1 |
10,320 |
0 |
— |
0 |
— |
Natasha
Kuhlkin, CFA |
|
|
|
|
|
|
All
Accounts |
18 |
23,465 |
12 |
12,785 |
26 |
2,443 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
0 |
— |
HARBOR
CONVERTIBLE SECURITIES FUND | ||||||
Benjamin
Brodsky, CFA |
|
|
|
|
|
|
All
Accounts |
0 |
$— |
2 |
$1,025 |
1 |
$724 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
2 |
1,025 |
0 |
— |
Michael
Harper, CFA |
|
|
|
|
|
|
All
Accounts |
0 |
— |
2 |
1,025 |
1 |
724 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
2 |
1,025 |
0 |
— |
Benoy
Thomas, CFA |
|
|
|
|
|
|
All
Accounts |
0 |
— |
2 |
1,025 |
1 |
724 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
2 |
1,025 |
0 |
— |
HARBOR
CORE BOND FUND | ||||||
William
A. O’Malley, CFA |
|
|
|
|
|
|
All
Accounts |
6 |
$3,767 |
25 |
$13,856 |
746 |
$72,401 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
0 |
— |
James
E. Gubitosi, CFA |
|
|
|
|
|
|
All
Accounts |
6 |
3,767 |
25 |
13,856 |
746 |
72,401 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
0 |
— |
Bill
O’Neill, CFA |
|
|
|
|
|
|
All
Accounts |
6 |
3,767 |
25 |
13,856 |
746 |
72,401 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
0 |
— |
Jake
Remley, CFA |
|
|
|
|
|
|
All
Accounts |
6 |
3,767 |
25 |
13,856 |
746 |
72,401 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
0 |
— |
Matthew
Walker, CFA |
|
|
|
|
|
|
All
Accounts |
6 |
3,767 |
25 |
13,856 |
746 |
72,401 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
0 |
— |
Rachel
Campbell |
|
|
|
|
|
|
All
Accounts |
6 |
3,767 |
25 |
13,856 |
746 |
72,401 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
0 |
— |
|
Other
Registered
Investment
Companies |
Other
Pooled
Investment
Vehicles |
Other
Accounts | |||
#
of
Accounts |
Total
Assets
(in
millions) |
#
of
Accounts |
Total
Assets
(in
millions) |
#
of
Accounts |
Total
Assets
(in
millions) | |
HARBOR
CORE PLUS FUND | ||||||
William
A. O’Malley, CFA |
|
|
|
|
|
|
All
Accounts |
6 |
$3,767 |
25 |
$13,856 |
746 |
$72,401 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
0 |
— |
James
E. Gubitosi, CFA |
|
|
|
|
|
|
All
Accounts |
6 |
3,767 |
25 |
13,856 |
746 |
72,401 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
0 |
— |
Bill
O’Neill, CFA |
|
|
|
|
|
|
All
Accounts |
6 |
3,767 |
25 |
13,856 |
746 |
72,401 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
0 |
— |
Jake
Remley, CFA |
|
|
|
|
|
|
All
Accounts |
6 |
3,767 |
25 |
13,856 |
746 |
72,401 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
0 |
— |
Matthew
Walker, CFA |
|
|
|
|
|
|
All
Accounts |
6 |
3,767 |
25 |
13,856 |
746 |
72,401 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
0 |
— |
Rachel
Campbell |
|
|
|
|
|
|
All
Accounts |
6 |
3,767 |
25 |
13,856 |
746 |
72,401 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
0 |
— |
HARBOR
DISRUPTIVE INNOVATION FUND | ||||||
Spenser
P. Lerner, CFA |
|
|
|
|
|
|
All
Accounts |
5 |
$39 |
0 |
$— |
0 |
$— |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
0 |
— |
Kristof
Gleich, CFA |
|
|
|
|
|
|
All
Accounts |
5 |
36 |
0 |
— |
0 |
— |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
0 |
— |
HARBOR
DIVERSIFIED INTERNATIONAL ALL CAP FUND | ||||||
Neil
M. Ostrer |
|
|
|
|
|
|
All
Accounts |
1 |
$3,094 |
10 |
$9,962 |
25 |
$11,236 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
8 |
8,589 |
3 |
1,486 |
Charles
Carter |
|
|
|
|
|
|
All
Accounts |
1 |
3,094 |
12 |
10,864 |
33 |
13,382 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
10 |
9,9491 |
6 |
2,461 |
Nick
Longhurst |
|
|
|
|
|
|
All
Accounts |
1 |
3,094 |
9 |
9,587 |
25 |
11,236 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
7 |
8,214 |
3 |
1,486 |
William
J. Arah |
|
|
|
|
|
|
All
Accounts |
1 |
3,094 |
9 |
10,181 |
24 |
12,995 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
7 |
8,808 |
3 |
1,486 |
Simon
Somerville |
|
|
|
|
|
|
All
Accounts |
1 |
3,094 |
11 |
11,207 |
32 |
15,141 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
9 |
9,834 |
6 |
2,461 |
|
Other
Registered
Investment
Companies |
Other
Pooled
Investment
Vehicles |
Other
Accounts | |||
#
of
Accounts |
Total
Assets
(in
millions) |
#
of
Accounts |
Total
Assets
(in
millions) |
#
of
Accounts |
Total
Assets
(in
millions) | |
HARBOR
DIVERSIFIED INTERNATIONAL ALL CAP FUND —
Continued | ||||||
Toma
Kobayashi |
|
|
|
|
|
|
All
Accounts |
1 |
$3,094 |
8 |
$9,930 |
24 |
$12,995 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
6 |
8,557 |
3 |
1,486 |
Alex
Duffy |
|
|
|
|
|
|
All
Accounts |
2 |
3,094 |
12 |
10,786 |
23 |
7,191 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
10 |
9,413 |
5 |
2,140 |
Justin
Hill |
|
|
|
|
|
|
All
Accounts |
1 |
3,094 |
10 |
10,638 |
31 |
12,718 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
8 |
9,265 |
6 |
2,461 |
Robert
Anstey, CFA |
|
|
|
|
|
|
All
Accounts |
0 |
— |
8 |
3,721 |
27 |
11,061 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
7 |
2,559 |
9 |
3,436 |
HARBOR
INTERNATIONAL FUND | ||||||
Neil
M. Ostrer |
|
|
|
|
|
|
All
Accounts |
1 |
$3,094 |
10 |
$9,962 |
25 |
$11,236 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
— |
— |
8 |
8,589 |
3 |
1,486 |
Charles
Carter |
|
|
|
|
|
|
All
Accounts |
1 |
3,094 |
12 |
10,864 |
33 |
13,382 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
10 |
9,9491 |
6 |
2,461 |
Nick
Longhurst |
|
|
|
|
|
|
All
Accounts |
1 |
3,094 |
9 |
9,587 |
25 |
11,236 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
7 |
8,214 |
3 |
1,486 |
William
J. Arah |
|
|
|
|
|
|
All
Accounts |
1 |
3,094 |
9 |
10,181 |
24 |
12,995 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
7 |
8,808 |
3 |
1,486 |
Simon
Somerville |
|
|
|
|
|
|
All
Accounts |
1 |
3,094 |
11 |
11,207 |
32 |
15,141 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
9 |
9,834 |
6 |
2,461 |
Toma
Kobayashi |
|
|
|
|
|
|
All
Accounts |
1 |
3,094 |
8 |
9,930 |
24 |
12,995 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
6 |
8,557 |
3 |
1,486 |
Alex
Duffy |
|
|
|
|
|
|
All
Accounts |
2 |
3,094 |
12 |
10,786 |
23 |
7,191 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
10 |
9,413 |
5 |
2,140 |
Justin
Hill |
|
|
|
|
|
|
All
Accounts |
1 |
3,094 |
10 |
10,638 |
31 |
12,718 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
8 |
9,265 |
6 |
2,461 |
HARBOR
INTERNATIONAL COMPOUNDERS FUND | ||||||
Bo
Almar Knudsen |
|
|
|
|
|
|
All
Accounts |
2 |
$22 |
16 |
$3,560 |
29 |
$9,181 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
4 |
2,254 |
|
Other
Registered
Investment
Companies |
Other
Pooled
Investment
Vehicles |
Other
Accounts | |||
#
of
Accounts |
Total
Assets
(in
millions) |
#
of
Accounts |
Total
Assets
(in
millions) |
#
of
Accounts |
Total
Assets
(in
millions) | |
HARBOR
INTERNATIONAL COMPOUNDERS FUND — Continued | ||||||
Bengt
Seger |
|
|
|
|
|
|
All
Accounts |
2 |
$22 |
16 |
$3,560 |
29 |
$9,181 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
4 |
2,254 |
Peter
O’Reilly |
|
|
|
|
|
|
All
Accounts |
2 |
22 |
16 |
3,560 |
29 |
9,181 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
4 |
2,254 |
Mattias
Kolm |
|
|
|
|
|
|
All
Accounts |
2 |
22 |
16 |
3,560 |
29 |
9,181 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
4 |
2,254 |
HARBOR
INTERNATIONAL CORE FUND | ||||||
Brendan
O. Bradley, Ph.D. |
|
|
|
|
|
|
All
Accounts |
15 |
$7,447 |
85 |
$25,045 |
194 |
$57,596 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
12 |
2,009 |
21 |
8,688 |
Fanesca
Young, Ph.D., CFA |
|
|
|
|
|
|
All
Accounts |
15 |
$7,447 |
85 |
$25,045 |
194 |
$57,596 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
12 |
2,009 |
21 |
8,688 |
HARBOR
INTERNATIONAL GROWTH FUND | ||||||
Iain
Campbell |
|
|
|
|
|
|
All
Accounts |
5 |
$4,254 |
4 |
$392 |
36 |
$8,058 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
2 |
319 |
Joe
Faraday, CFA |
|
|
|
|
|
|
All
Accounts |
5 |
4,254 |
3 |
284 |
34 |
7,977 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
2 |
319 |
Stephen
Paice |
|
|
|
|
|
|
All
Accounts |
5 |
3,872 |
7 |
1,297 |
36 |
8,143 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
2 |
319 |
Sophie
Earnshaw, CFA |
|
|
|
|
|
|
All
Accounts |
8 |
4,663 |
11 |
2,140 |
41 |
13,179 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
3 |
2,179 |
Milena
Mileva |
|
|
|
|
|
|
All
Accounts |
5 |
4,254 |
7 |
1,389 |
40 |
9,490 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
2 |
319 |
Alex
Summers |
|
|
|
|
|
|
All
Accounts |
|
|
|
|
|
|
Accounts
where advisory fee is based on account
performance
(subset of above) |
|
|
|
|
|
|
HARBOR
INTERNATIONAL SMALL CAP FUND | ||||||
Jonathan
P. Brodsky |
|
|
|
|
|
|
All
Accounts |
0 |
$— |
2 |
$209 |
3 |
$34 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
0 |
— |
Waldemar
A. Mozes |
|
|
|
|
|
|
All
Accounts |
0 |
— |
2 |
209 |
3 |
34 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
0 |
— |
|
Other
Registered
Investment
Companies |
Other
Pooled
Investment
Vehicles |
Other
Accounts | |||
#
of
Accounts |
Total
Assets
(in
millions) |
#
of
Accounts |
Total
Assets
(in
millions) |
#
of
Accounts |
Total
Assets
(in
millions) | |
HARBOR
LARGE CAP VALUE FUND | ||||||
Howard
Gleicher, CFA |
|
|
|
|
|
|
All
Accounts |
9 |
$5,745 |
19 |
$8,621 |
1,307 |
$18,493 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
1 |
9,923 |
0 |
— |
3 |
524 |
Gregory
D. Padilla, CFA |
|
|
|
|
|
|
All
Accounts |
7 |
5,101 |
16 |
8,001 |
1,303 |
17,230 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
1 |
9,923 |
0 |
— |
3 |
524 |
HARBOR
MID CAP FUND and HARBOR SMALL CAP VALUE FUND | ||||||
Paul
E. Viera |
|
|
|
|
|
|
All
Accounts |
2 |
$136 |
14 |
$5,467 |
7,269 |
$13,969 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
5 |
785 |
HARBOR
MID CAP VALUE FUND | ||||||
Josef
Lakonishok, Ph.D. |
|
|
|
|
|
|
All
Accounts |
33 |
$13,698 |
645 |
$20,766 |
312 |
$50,755 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
6 |
1,685 |
69 |
12,934 |
Menno
Vermeulen, CFA |
|
|
|
|
|
|
All
Accounts |
33 |
13,698 |
645 |
20,766 |
312 |
50,755 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
6 |
1,685 |
69 |
12,934 |
Puneet
Mansharamani, CFA |
|
|
|
|
|
|
All
Accounts |
33 |
13,698 |
645 |
20,766 |
312 |
50,755 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
6 |
1,685 |
69 |
12,934 |
Greg
Sleight |
|
|
|
|
|
|
All
Accounts |
33 |
13,698 |
645 |
20,766 |
312 |
50,755 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
6 |
1,685 |
69 |
12,934 |
Guy
Lakonishok, CFA |
|
|
|
|
|
|
All
Accounts |
33 |
13,698 |
645 |
20,766 |
312 |
50,755 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
6 |
1,685 |
69 |
12,934 |
HARBOR
SMALL CAP GROWTH FUND | ||||||
William
A. Muggia |
|
|
|
|
|
|
All
Accounts |
10 |
$2,340 |
9 |
$1,812 |
266 |
$9,237 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
1 |
28 |
25 |
2,210 |
Richard
D. Lee, CFA |
|
|
|
|
|
|
All
Accounts |
8 |
2,134 |
6 |
1,762 |
221 |
8,326 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
22 |
1,726 |
Ethan
J. Meyers, CFA |
|
|
|
|
|
|
All
Accounts |
8 |
2,134 |
6 |
1,762 |
221 |
8,326 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
22 |
1,726 |
John
M. Montgomery |
|
|
|
|
|
|
All
Accounts |
8 |
2,134 |
6 |
1,762 |
221 |
8,326 |
Accounts
where advisory fee is based on account
performance
(subset of above) |
0 |
— |
0 |
— |
22 |
1,726 |
|
Total
Paid to Distributor |
Retained
by Distributor1 |
Paid
to Intermediaries2 | |||
|
Administrative
Class
(000s) |
Investor
Class
(000s) |
Administrative
Class
(000s) |
Investor
Class
(000s) |
Administrative
Class
(000s) |
Investor
Class
(000s) |
HARBOR
FUNDS | ||||||
Harbor
Capital Appreciation Fund |
$498 |
$2,032 |
$4 |
$23 |
$494 |
$2,009 |
Harbor
Convertible Securities Fund |
1 |
3 |
— |
— |
1 |
3 |
Harbor
Core Bond Fund |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Harbor
Core Plus Fund |
25 |
N/A |
2 |
N/A |
23 |
N/A |
Harbor
Disruptive Innovation Fund |
5 |
40 |
— |
1 |
5 |
39 |
Harbor
Diversified International All Cap
Fund. |
22 |
24 |
— |
— |
22 |
24 |
Harbor
International Fund |
29 |
675 |
1 |
23 |
28 |
652 |
Harbor
International Compounders Fund3 |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Harbor
International Core Fund |
N/A |
22 |
N/A |
1 |
N/A |
21 |
Harbor
International Growth Fund |
— |
19 |
— |
2 |
— |
17 |
Harbor
International Small Cap Fund |
1 |
10 |
1 |
2 |
— |
8 |
Harbor
Large Cap Value Fund |
8 |
66 |
— |
3 |
8 |
63 |
Harbor
Mid Cap Fund |
N/A |
2 |
N/A |
2 |
N/A |
— |
Harbor
Mid Cap Value Fund |
9 |
69 |
1 |
2 |
8 |
67 |
Harbor
Small Cap Growth Fund |
1 |
20 |
— |
1 |
1 |
19 |
Harbor
Small Cap Value Fund |
19 |
90 |
1 |
3 |
18 |
87 |
Share
Class |
Transfer
Agent Fees |
Retirement
Class |
0.02%
of the average daily net assets of all Retirement Class
shares |
Institutional
Class |
0.10%
of the average daily net assets of all Institutional Class
shares |
Administrative
Class |
0.10%
of the average daily net assets of all Administrative Class
shares |
Investor
Class |
0.21%
of the average daily net assets of all Investor Class
shares |
|
Total
Brokerage
Commissions
Paid To
Brokers
Who Provided
Research
Year Ended
10/31/2023
(000s) |
2023 |
2022 |
2021 |
Harbor
Capital Appreciation Fund |
$1,461 |
$3,072 |
$5,215 |
$7,925 |
Harbor
Convertible Securities Fund1 |
— |
23 |
— |
— |
Harbor
Core Bond Fund |
— |
— |
— |
— |
Harbor
Core Plus Fund |
— |
— |
14 |
26 |
Harbor
Disruptive Innovation Fund |
— |
96 |
118 |
284 |
Harbor
Diversified International All Cap Fund |
108 |
141 |
208 |
494 |
Harbor
International Fund |
284 |
389 |
417 |
878 |
Harbor
International Compounders Fund2 |
N/A |
N/A |
N/A |
N/A |
Harbor
International Core Fund |
|
81 |
45 |
26 |
Harbor
International Growth Fund |
— |
77 |
129 |
105 |
Harbor
International Small Cap Fund |
154 |
332 |
101 |
54 |
Harbor
Large Cap Value Fund |
342 |
342 |
499 |
399 |
Harbor
Mid Cap Fund |
9 |
19 |
28 |
15 |
Harbor
Mid Cap Value Fund |
— |
19 |
32 |
37 |
Harbor
Small Cap Growth Fund |
831 |
1,123 |
1,150 |
1,188 |
Harbor
Small Cap Value Fund |
464 |
724 |
599 |
688 |
Fund |
Regular
Broker-Dealer (or Parent) |
Aggregate
Holdings
(000s) |
Harbor
Capital Appreciation Fund |
Goldman
Sachs Group Inc. |
$114,028 |
| ||
Harbor
Convertible Securities Fund |
BofA
Securities, Inc. |
105 |
| ||
Harbor
Core Bond Fund |
BofA
Securities, Inc. |
898 |
|
CitiGroup
Global Markets Inc. |
623 |
|
Goldman
Sachs Group Inc. |
260 |
|
J.P.
Morgan Securities LLC |
764 |
|
Morgan
Stanley Co. Inc. |
865 |
| ||
Harbor
Core Plus Fund |
CitiGroup
Global Markets Inc. |
7,554 |
|
J.P.
Morgan Securities LLC |
3,486 |
|
Diversified
International
All
Cap
(000s) |
International
(000s) |
International
Core
(000s) |
International
Growth
(000s) |
International
Small
Cap
(000s) |
Gross
income from securities lending
activities |
$175 |
$548 |
$35 |
$13 |
$24 |
Fees
and/or compensation for securities
lending
activities and related services: |
|
|
|
|
|
Fees
paid to securities lending agent from
a
revenue split |
10 |
40 |
2 |
— |
1 |
Fees
paid for any cash collateral
management
services that are not
included
in the revenue split |
1 |
2 |
— |
— |
— |
Administrative
fees not included in
revenue
split |
— |
— |
— |
— |
— |
Indemnification
fee not included in
revenue
split |
— |
— |
— |
— |
— |
Rebate
(paid to borrower) |
78 |
146 |
10 |
9 |
14 |
Other
fees not included in revenue split |
— |
— |
— |
— |
— |
Aggregate
fees/compensation for securities
lending
activities |
89 |
188 |
12 |
9 |
15 |
Net
income from securities lending
activities1 |
$86 |
$360 |
$23 |
$4 |
$9 |
|
Capital
Loss Carryforwards ($000s): | ||
|
Short-Term |
Long-Term |
Total |
HARBOR
FUNDS | |||
Harbor
Capital Appreciation Fund |
$(224,522
) |
$- |
$(224,522
) |
Harbor
Convertible Securities Fund |
(7,437
) |
(7,247
) |
(14,684
) |
Harbor
Core Bond Fund |
(3,709
) |
(3,589
) |
(7,298
) |
Harbor
Core Plus Fund |
(46,061
) |
(58,618
) |
(104,679
) |
Harbor
Disruptive Innovation Fund |
(69,705
) |
(44,969
) |
(114,674
) |
Harbor
Diversified International All Cap Fund |
(2,576
) |
(24,242
) |
(26,818
) |
Harbor
International Fund |
(414,143
) |
(55,760
) |
(469,903
) |
Harbor
International Core Fund |
(7,089
) |
(67
) |
(7,156
) |
Harbor
International Growth Fund |
(671
) |
- |
(671
) |
Harbor
Small Cap Growth Fund * |
(24,386
) |
(58,783
) |
(83,169
) |
25%
or Greater Ownership | |||||
Shareholder
Name |
Capital
Appreciation
Fund |
Convertible
Securities
Fund |
Core
Bond
Fund |
Disruptive
Innovation
Fund |
Diversified
International
All
Cap Fund |
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO, CA |
— |
— |
31% |
— |
— |
HARBOR
CAPITAL ADVISORS INC
CHICAGO,
IL |
— |
42% |
— |
— |
—
|
25%
or Greater Ownership — Continued | |||||
Shareholder
Name |
Capital
Appreciation
Fund |
Convertible
Securities
Fund |
Core
Bond
Fund |
Disruptive
Innovation
Fund |
Diversified
International
All
Cap Fund |
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY, NJ |
32% |
— |
— |
37% |
35% |
25%
or Greater Ownership — Continued | ||||||
Shareholder
Name |
International
Core
Fund |
International
Fund |
International
Small
Cap
Fund |
Large
Cap
Value
Fund |
Mid
Cap
Fund |
Small
Cap
Growth
Fund |
CHARLES
SCHWAB & CO
INC
SAN
FRANCISCO, CA |
38% |
— |
50% |
— |
— |
— |
LINCOLN
INVESTMENT
PLANNING,
LLC
FORT
WASHINGTON,
PA |
39% |
— |
— |
— |
— |
— |
NATIONAL
FINANCIAL
SERVICES
LLC
JERSEY
CITY, NJ |
— |
27% |
— |
26% |
58% |
30% |
5%
or Greater Ownership – Institutional Class | ||||
Shareholder
Name |
Capital
Appreciation
Fund |
Convertible
Securities
Fund |
Core
Bond
Fund |
Core
Plus
Fund |
ATTN
MUTUAL FUND ADMINISTRATOR
OAKS,
PA |
— |
28% |
17% |
— |
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO, CA |
21% |
12% |
63% |
23% |
JOINT
TENANTS ACCOUNT SHAREHOLDER
HINSDALE,
IL |
— |
7% |
— |
— |
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY, NJ |
31% |
8% |
10% |
17% |
PERSHING
LLC
JERSEY
CITY, NJ |
— |
13% |
— |
5% |
RAYMOND
JAMES
SAINT
PETERSBURG, FL |
— |
— |
— |
9% |
SPECIAL
CUSTODY ACCOUNT FOR THE
WEEHAWKEN,
NJ |
— |
6% |
— |
— |
5%
or Greater Ownership – Institutional Class —
Continued | ||||
Shareholder
Name |
Disruptive
Innovation
Fund |
Diversified
International
All
Cap Fund |
|
International
Fund |
ATTN
MUTUAL FUND ADMINISTRATOR
OAKS,
PA |
— |
19% |
|
— |
ATTN
MUTUAL FUND OPERATIONS
PITTSBURGH,
PA |
— |
7% |
|
— |
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO, CA |
— |
11% |
|
23% |
JOHN
HANCOCK TRUST COMPANY LLC
BOSTON,
MA |
— |
11% |
|
— |
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY, NJ |
32% |
27% |
|
27%
|
5%
or Greater Ownership – Institutional Class —
Continued | ||||
Shareholder
Name |
Disruptive
Innovation
Fund |
Diversified
International
All
Cap Fund |
|
International
Fund |
PERSHING
LLC
JERSEY
CITY, NJ |
7% |
— |
|
— |
RELIANCE
TRUST CO FBO
ATLANTA,
GA |
— |
13% |
|
— |
WELLS
FARGO CLEARING SERVICES, LLC
SAINT
LOUIS, MO |
7% |
— |
|
— |
5%
or Greater Ownership – Institutional Class —
Continued | ||||
Shareholder
Name |
International
Core
Fund |
International
Growth
Fund |
International
Small
Cap
Fund |
Large
Cap
Value
Fund |
ATTN
MUTUAL FUND ADMINISTRATOR
OAKS,
PA |
— |
9% |
— |
— |
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO, CA |
36% |
19% |
44% |
19% |
JOHN
HANCOCK TRUST COMPANY LLC
BOSTON,
MA |
— |
— |
— |
14% |
J.P.
MORGAN SECURITIES LLC
BROOKLYN,
NY |
— |
7% |
— |
— |
LINCOLN
INVESTMENT PLANNING, LLC
FORT
WASHINGTON, PA |
43% |
— |
— |
— |
LPL
FINANCIAL
SAN
DIEGO, CA |
— |
— |
19% |
14% |
MERRILL
LYNCH PIERCE FENNER & SMITH
JACKSONVILLE,
FL |
— |
— |
— |
9% |
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY, NJ |
9% |
29% |
25% |
12% |
RBC
CAPITAL MARKETS LLC
MINNEAPOLIS,
MN |
— |
— |
— |
8% |
SPRINGTRUST
3
OLNEY,
MD |
8% |
— |
— |
— |
WELLS
FARGO CLEARING SERVICES, LLC
SAINT
LOUIS, MO |
— |
— |
— |
8% |
5%
or Greater Ownership – Institutional Class —
Continued | ||||
Shareholder
Name |
Mid
Cap
Fund |
Mid
Cap
Value
Fund |
Small
Cap
Growth
Fund |
Small
Cap
Value
Fund |
ATTN
MUTUAL FUND ADMINISTRATOR
OAKS,
PA |
29% |
— |
— |
— |
ATTN
MUTUAL FUND OPERATIONS PITTSBURGH, PA |
7% |
— |
— |
— |
CAPINCO
MILWAUKEE,
WI |
24% |
— |
— |
— |
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO, CA |
— |
21% |
12% |
29% |
JOHN
HANCOCK LIFE INSURANCE COMPANY
BOSTON,
MA |
— |
8% |
— |
— |
LPL
FINANCIAL
SAN
DIEGO, CA |
27% |
6% |
7% |
8% |
MERRILL
LYNCH PIERCE FENNER & SMITH
JACKSONVILLE,
FL |
— |
7% |
6% |
— |
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY, NJ |
— |
21% |
35% |
14% |
PIMS/PRUDENTIAL
RETIREMENT AS
ISELIN,
NJ |
— |
5% |
— |
— |
UBATCO
& CO
LINCOLN,
NE |
— |
— |
11% |
— |
WELLS
FARGO CLEARING SERVICES, LLC
SAINT
LOUIS, MO |
— |
8% |
6% |
18% |
5%
or Greater Ownership – Administrative Class | |||||
Shareholder
Name |
Capital
Appreciation
Fund |
Convertible
Securities
Fund |
Core
Plus
Fund |
Disruptive
Innovation
Fund |
Diversified
International
All
Cap Fund |
AMERICAN
ENTERPRISE INVESTMENT
SVC
MINNEAPOLIS,
MN |
— |
— |
8% |
— |
— |
ASCENSUS
TRUST COMPANY FBO
FARGO,
ND |
— |
— |
7% |
— |
— |
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO, CA |
9% |
— |
14% |
8% |
— |
C/O
PACIFIC PREMIER TRUST
OAKS,
PA |
— |
96% |
— |
— |
— |
EMPOWER
TRUST FBO
GREENWOOD
VILLAGE, CO |
9% |
— |
13% |
21% |
— |
FIIOC
COVINGTON,
KY |
12% |
— |
— |
— |
— |
JOHN
HANCOCK TRUST COMPANY LLC
BOSTON,
MA |
5% |
— |
— |
— |
— |
MATC
FBO GREECE COIN & STAMP INC.
PITTSBURGH,
PA |
7% |
— |
7% |
— |
— |
MATRIX
TRUST COMPANY AS AGENT FOR
TUPELO,
MS |
— |
— |
— |
11% |
— |
MERRILL
LYNCH PIERCE FENNER & SMITH
JACKSONVILLE,
FL |
11% |
— |
— |
— |
— |
MORGAN
STANLEY SMITH BARNEY LLC
JERSEY
CITY, NJ |
— |
— |
12% |
— |
— |
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY, NJ |
14% |
— |
19% |
25% |
100% |
PERSHING
LLC
JERSEY
CITY, NJ |
— |
— |
7% |
— |
— |
RAYMOND
JAMES
ST
PETERSBURG, FL |
— |
— |
— |
8% |
— |
VANGUARD
BROKERAGE SERVICES
VALLEY
FORGE, PA |
— |
— |
9% |
99% |
— |
VANGUARD
FIDUCIARY TRUST CO
VALLEY
FORGE, PA |
17% |
— |
— |
— |
— |
5%
or Greater Ownership – Administrative Class —
Continued | ||||
Shareholder
Name |
|
International
Fund |
International
Growth
Fund |
International
Small
Cap
Fund |
ASCENSUS
TRUST COMPANY FBO
FARGO,
ND |
|
— |
— |
— |
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO, CA |
|
— |
— |
100% |
FIIOC
COVINGTON,
KY |
|
— |
— |
— |
FNB
NOMINEE
DENVER,
CO |
|
22% |
29% |
— |
MATC
FBO GREECE COIN & STAMP INC.
PITTSBURGH,
PA |
|
— |
7% |
— |
MORGAN
STANLEY SMITH BARNEY LLC
JERSEY
CITY, NJ |
|
— |
— |
— |
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY, NJ |
|
25% |
24% |
— |
PERSHING
LLC
JERSEY
CITY, NJ |
|
— |
33% |
— |
STATE
STREET BANK AND TRUST
BOSTON,
MA |
|
11% |
— |
— |
TIAA
TRUST, N.A. AS CUST/TTEE
CHARLOTTE,
NC |
|
7% |
— |
— |
5%
or Greater Ownership – Administrative Class —
Continued | ||||
Shareholder
Name |
Large
Cap
Value
Fund |
Mid
Cap
Value
Fund |
Small
Cap
Growth
Fund |
Small
Cap
Value
Fund |
ASCENSUS
TRUST COMPANY FBO
FARGO,
ND |
— |
— |
32% |
12% |
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO, CA |
— |
— |
— |
12% |
FIIOC
COVINGTON,
KY |
— |
19% |
— |
5% |
FNB
NOMINEE
DENVER,
CO |
7% |
6% |
— |
17% |
MATC
FBO GREECE COIN & STAMP INC.
PITTSBURGH,
PA |
— |
9% |
22% |
7% |
MERRILL
LYNCH PIERCE FENNER & SMITH
JACKSONVILLE,
FL |
— |
40% |
— |
26% |
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY, NJ |
6% |
18% |
39% |
16% |
STATE
STREET BANK AND TRUST
BOSTON,
MA |
77% |
— |
— |
— |
5%
or Greater Ownership – Investor Class | |||||
Shareholder
Name |
Capital
Appreciation
Fund |
Convertible
Securities
Fund |
Disruptive
Innovation
Fund |
Diversified
International
All
Cap Fund |
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO, CA |
33% |
84% |
15% |
98% |
|
C/O
MISSIONSQUARE RETIREMENT
WASHINGTON,
DC |
— |
— |
18% |
— |
|
MERRILL
LYNCH PIERCE FENNER & SMITH
JACKSONVILLE,
FL |
— |
— |
8% |
— |
|
MORGAN
STANLEY SMITH BARNEY LLC
JERSEY
CITY, NJ |
10% |
— |
— |
— |
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY, NJ |
25% |
— |
22% |
— |
|
NATIONWIDE
TRUST COMPANY FSB
COLUMBUS,
OH |
— |
— |
8% |
— |
|
PERSHING
LLC
JERSEY
CITY, NJ |
— |
8% |
— |
— |
|
5%
or Greater Ownership – Investor Class — Continued | |||||
Shareholder
Name |
International
Fund |
International
Core
Fund |
International
Growth
Fund |
International
Small
Cap
Fund |
Large
Cap
Value
Fund |
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO, CA |
35% |
90% |
41% |
84% |
37% |
MERRILL
LYNCH PIERCE FENNER & SMITH
JACKSONVILLE,
FL |
— |
— |
— |
— |
5% |
MORGAN
STANLEY SMITH BARNEY LLC
JERSEY
CITY, NJ |
8% |
6% |
— |
— |
— |
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY, NJ |
34% |
— |
19% |
— |
34% |
NATIONWIDE
TRUST COMPANY FSB
COLUMBUS,
OH |
— |
— |
12% |
— |
— |
VANGUARD
BROKERAGE SERVICES
VALLEY
FORGE, PA |
— |
— |
— |
8% |
— |
5%
or Greater Ownership – Investor Class — Continued | ||||
Shareholder
Name |
Mid
Cap
Fund |
Mid
Cap
Value
Fund |
Small
Cap
Growth
Fund |
Small
Cap
Value
Fund |
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO, CA |
14% |
28% |
57% |
37%
|
MERRILL
LYNCH PIERCE FENNER & SMITH
JACKSONVILLE,
FL |
— |
— |
— |
5% |
MORGAN
STANLEY SMITH BARNEY LLC
JERSEY
CITY, NJ |
— |
14% |
— |
— |
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY, NJ |
— |
29% |
25% |
27% |
PERSHING
LLC
JERSEY
CITY, NJ |
81% |
— |
— |
— |
WELLS
FARGO CLEARING SERVICES, LLC
SAINT
LOUIS, MO |
— |
— |
— |
9% |
5%
or Greater Ownership – Retirement Class | ||||
Shareholder
Name |
Capital
Appreciation
Fund |
Convertible
Securities
Fund |
Core
Bond
Fund |
Core
Plus
Fund |
ATTN
MUTUAL FUND ADMINISTRATOR
OAKS,
PA |
— |
— |
25% |
6% |
BAND
& CO C/O US BANK NA
MILWAUKEE,
WI |
— |
— |
24% |
— |
CAPINCO
MILWAUKEE,
WI |
— |
— |
6% |
— |
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO, CA |
9% |
— |
23% |
— |
C/O
FASCORE LLC
GREENWOOD
VILLAGE, CO |
5% |
— |
— |
11% |
C/O
RELIANCE TRUST COMPANY WI
MILWAUKEE,
WI |
— |
— |
6% |
— |
HARBOR
CAPITAL ADVISORS INC CHICAGO, IL |
— |
93% |
— |
— |
INDIVIDUAL
TTEE
NEW
YORK, NY |
— |
— |
— |
9% |
IRA
INDIVIDUALLY ESTABLISHED Account Shareholder
LONGMONT,
CO |
— |
— |
— |
6% |
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY, NJ |
36% |
6% |
— |
56% |
RELIANCE
TRUST CO FBO
ATLANTA,
GA |
— |
— |
7% |
— |
SSS
FAMILY INVESTMENTS LP
OVERLAND
PARK, KS |
— |
— |
— |
8% |
5%
or Greater Ownership – Retirement Class —
Continued | ||||
Shareholder
Name |
Disruptive
Innovation
Fund |
Diversified
International
All
Cap Fund |
|
|
ATTN
MUTUAL FUND ADMINISTRATOR
OAKS,
PA |
— |
10% |
|
|
CAPINCO
MILWAUKEE,
WI |
— |
7% |
|
|
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO, CA |
— |
11% |
|
|
C/O
MISSIONSQUARE RETIREMENT
BERLIN,
CT |
8% |
— |
|
|
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY, NJ |
82% |
38% |
|
|
RELIANCE
TRUST CO FBO ATLANTA, PA |
— |
6% |
|
|
|
5%
or Greater Ownership – Retirement Class —
Continued | |||||
Shareholder
Name |
International
Core
Fund |
International
Fund |
International
Growth
Fund |
International
Small
Cap
Fund |
Large
Cap
Value
Fund | |
ATTN
MUTUAL FUND ADMINISTRATOR
OAKS,
PA |
— |
9% |
8% |
— |
28% | |
CAPINCO
MILWAUKEE,
WI |
— |
— |
20% |
— |
— | |
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO, CA |
— |
— |
11% |
58% |
16% | |
C/O
FIDUCIARY TRUST COMPANY INTL
NEW
YORK, NY |
— |
— |
10% |
— |
— | |
DISTRICT
OF COLUMBIA 401A DEF CONTR
WASHINGTON,
DC |
— |
10% |
— |
— |
— | |
EDWARD
D JONES & CO SAINT LOUIS,
MO |
— |
17% |
— |
— |
— | |
HOCO
KANSAS
CITY, MO |
— |
— |
34% |
— |
— | |
MERRIL
LYNCH PIERCE FENNER & SMITH
JACKSONVILLE,
FL |
— |
14% |
— |
— |
— | |
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY, NJ |
100% |
23% |
— |
7% |
35% | |
RELIANCE
TRUST CO FBO ATLANTA, GA |
— |
— |
— |
26% |
— | |
SAXON
& CO
CLEVELAND,
OH |
— |
— |
— |
9% |
10% |
5%
or Greater Ownership – Retirement Class —
Continued | ||||
Shareholder
Name |
Mid
Cap
Fund |
Mid
Cap
Value
Fund |
Small
Cap
Growth
Fund |
Small
Cap
Value
Fund |
ASSOCIATED
TRUST COMPANY FBO
GREEN
BAY, WI |
— |
— |
11% |
— |
ATTN
MUTUAL FUND ADMINISTRATOR
OAKS,
PA |
— |
— |
— |
6% |
CHARLES
SCHWAB & CO INC
SAN
FRANCISCO, CA |
— |
— |
— |
7% |
C/O
FASCORE LLC
GREENWOOD
VILLAGE, CO |
— |
8% |
— |
— |
DCGT
AS TTEE AND/OR CUST
DES
MOINES, IA |
— |
— |
23% |
— |
MATRIX
TRUST COMPANY AS AGENT FOR DENVER, CO |
— |
5% |
— |
— |
MERRILL
LYNCH PIERCE FENNER & SMITH
JACKSONVILLE,
FL |
— |
— |
— |
17% |
NATIONAL
FINANCIAL SERVICES LLC
JERSEY
CITY, NJ |
91% |
68% |
22% |
14% |
PERSHING
LLC
JERSEY
CITY, NJ |
— |
— |
— |
6% |
RELIANCE
TRUST CO FBO
ATLANTA,
GA |
— |
6% |
— |
— |
VOYA
INSTITUTIONAL TRUST COMPANY
WINDSOR,
CT |
— |
— |
17% |
— |
ZIONS
FIRST NATIONAL
BANK
SALT
LAKE CTY, UT |
— |
— |
— |
20% |